Willis S. Holmes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Willis Samuel Holmes was a registered financial professional .
Willis is a previously registered financial professional and started their career in finance in 1987. Willis had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2017 - June 14, 2018
NYLIFE SECURITIES LLC
March 25, 2015 - November 5, 2015
QUESTAR CAPITAL CORPORATION
March 7, 2013 - November 12, 2014
VARIABLE INVESTMENT ASSOCIATES, INC.
November 7, 2008 - October 3, 2012
MORRIS GROUP, INC.
November 12, 2007 - August 20, 2008
WORLD GROUP SECURITIES, INC.
November 9, 2006 - September 20, 2007
THE O.N. EQUITY SALES COMPANY
June 5, 2003 - April 6, 2006
ALLSTATE FINANCIAL SERVICES, LLC
January 12, 2001 - June 19, 2003
QUESTAR CAPITAL CORPORATION
November 12, 1996 - January 16, 2001
SPECTRUM INVESTMENT SERVICES, INC.
November 20, 1990 - November 6, 1996
GUARDIAN INVESTOR SERVICES LLC
November 24, 1987 - October 1, 1990
G. R. PHELPS & CO., INC.
January 20, 1987 - September 21, 1987
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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